Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Monken (Monken), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Monken recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $750,000.00 on September 21, 2023.
Claim alleges, inter alia, that the trading strategy implemented in the client’s account was not in her best interest 2020-2022